William G. Coman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Gregory Coman was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2013. William had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2015 - February 10, 2016
LEADER CAPITAL CORP.
September 29, 2015 - February 10, 2016
LEADER CAPITAL CORP.
January 9, 2014 - November 21, 2014
RBC CAPITAL MARKETS, LLC
November 12, 2013 - November 21, 2014
RBC CAPITAL MARKETS, LLC
Primary Firm SEC Registration
LEADER CAPITAL CORP.
CRD#: 46206 / SEC#: 801-56684, 8-51343
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LEADER CAPITAL CORP.
CRD#: 46206 / SEC#: 801-56684, 8-51343
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 1,135,338,351 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
